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James Rice

Steward Partners Investment Advisory, LLC

Wells, ME

Stamford, CT

Portsmouth, NH

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Current Employers
Steward Partners Investment Advisory, Llc

400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2024-09-30
TX RA APPROVED 2024-09-30
  • NH RA
    APPROVED
    Since 2024-09-30
  • TX RA
    APPROVED
    Since 2024-09-30

Branch Locations

Wells, ME • United States

400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States

145 Maplewood Ave Suite 100, Portsmouth, NH 03801 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Steward Partners Global Advisory, Llc Portsmouth NH 06/2024 Present
Steward Partners Investment Solutions, Llc Portsmouth NH 06/2024 Present
Confluent Medical Technologies Warwick RI 05/2022 06/2024
General Dynamics Electric Boat Groton CT 08/2018 05/2022
University Of New Hampshire Durham NH 08/2017 08/2018
Lockheed Martin Uniondale NY 06/2017 08/2017
University Of New Hampshire Durham NH 08/2016 06/2017
Steward Partners Investment Advisory, Llc Portsmouth NH 09/2024 Present
  • 06/2024 → Present
    Steward Partners Global Advisory, Llc
    Portsmouth, NH
  • 06/2024 → Present
    Steward Partners Investment Solutions, Llc
    Portsmouth, NH
  • 05/2022 → 06/2024
    Confluent Medical Technologies
    Warwick, RI
  • 08/2018 → 05/2022
    General Dynamics Electric Boat
    Groton, CT
  • 08/2017 → 08/2018
    University Of New Hampshire
    Durham, NH
  • 06/2017 → 08/2017
    Lockheed Martin
    Uniondale, NY
  • 08/2016 → 06/2017
    University Of New Hampshire
    Durham, NH
  • 09/2024 → Present
    Steward Partners Investment Advisory, Llc
    Portsmouth, NH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-09-26
  • S66 Uniform Combined State Law Examination
    2024-09-26
Other Names
  • Jim Rice

View on SEC IAPD

Other Firms

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LPL ENTERPRISE, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
AMERIPRISE FINANCIAL SERVICES, LLC
ATLANTIC COAST FINANCIAL
EDWARD JONES
FIDUCIENT ADVISORS LLC

Other Investors

JOSEPH MICHAEL ALVAREZ
PETER C BISHOP
William O'Shea Rispoli
KEVIN JAMES COLLEY
WARREN GEORGE BERGER
WILLIAM PAUL GLIDDEN
NANCY ANN HAFFORD
LANCE ROBERT HOENIG

Other Offices

COMMONWEALTH FINANCIAL NETWORK · Wells, ME
SALEM ADVISORY GROUP LLC · WELLS, ME
LPL ENTERPRISE, LLC · WELLS, ME
STATE FARM INVESTMENT MANAGEMENT CORP. · Wells, ME
AMERIPRISE FINANCIAL SERVICES, LLC · Kennebunk, ME
ATLANTIC COAST FINANCIAL · KENNEBUNK, ME
EDWARD JONES · OGUNQUIT, ME
EDWARD JONES · KENNEBUNK, ME

More in Wells, ME

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